Information Management Advice 54 Records Management toolkit for Local Government

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1 Information Management Advice 54 Records Management toolkit for Local Government FACT SHEET 7 - Basic Records Management - Resource Management Introduction This Fact Sheet is part of a sub-set of Advice 54, and focuses on the operational procedures of a records management program. Some templates are provided to assist agencies to establish and implement recordkeeping controls and procedures. Agencies with very small records operations, those who do not have dedicated RM resources, and those who have not yet implemented specialised EDRMS software, may find these Fact Sheets particularly beneficial. Records program operations Daily operations are the basis for the development of a procedure manual for the records team. This promotes consistency of process, and information sharing, in the event of new staff, volunteers or contractors. Procedure manuals should be regularly reviewed and updated as required to allow for organisational and procedural change. Whether paper or electronic recordkeeping systems are in place, key functions include: Record identification Record capture Registration Indexing Classification File creation and closure Distribution & tracking Search & retrieval Access Security Storage Scheduling, retention & disposal Records transfer e-discovery & Disposal Freezes Vital Records Disaster Management QA & Auditing Monitoring (program, processes and people) & reporting on activities, performance and compliance Resourcing Tools you may need Business review documentation Page 1 of 30

2 Information Management Advice 54 Records Management toolkit for Local Government Position descriptions Dedicated budget Procedure manuals & business rules Strategic & Operational plans Skills analysis Skills audit Training & Development plans Position Descriptions/Statements of Duties Effective information and records management depends on having both the technical and human resources to do the job. For records management programs to be effective, they need to be supported by appropriate resources, and individuals with the qualifications, experience and skills necessary to undertake the various roles. A crucial element of a records management program, is the adequate allocation and ongoing monitoring of appropriate resources, sufficient to an individual agency s business requirements. Business benefits that may be expected include: Ability to mitigate risks associated with poor records management practice Compliance with statutory requirements under the Archives Act 1983 and the Local Government Act 1993 Ability to streamline business processes through the application of workflow Appropriate, legal and timely disposal of records, and Records and information assets protected from disaster. Records management staff must be appropriately skilled, through experience and training, in order to successfully undertake the range of records management activities required. These skills must be updated to ensure staff capabilities and awareness remains current, and a regular evaluation of RM resourcing is recommended. RM practitioners and senior management should work together to identify any gaps that exist within current structures, including skill deficiencies. Inadequate resourcing, resulting in poorly managed records management systems and programs, increases risks to agencies and inefficient use of staff time. The importance of, and differences between, the roles of information technology and records management, needs to be recognised and acknowledged. Records Management concentrates on the management of records and content, in line with legislative and business requirements and community expectations, using the technological infrastructure and service mechanisms provided by Information Technology. The role of the Records (and Information) Manager Information and records management is a dynamic profession. As the environment undergoes changes in terms of information legislation and technological advances, information and records managers should be continually updating their skillset through both formal and informal training in order to remain relevant. Information and records managers are responsible for the strategic coordination of information resources across their agencies. Information resources include information in physical and digital formats. They must be aware of what information is being created in their agency and where it is located, as well as managing access, ensuring security and providing practical advice to agency staff. Information and records managers are responsible for: Page 2 of 30

3 Information Management Advice 54 Records Management toolkit for Local Government evaluating their agencies information and records management requirements advising on efficient information and records management practices developing whole-of-agency information and records capability developing whole-of-agency information governance ensuring all systems that create and/or store records are compliant with TAHO s requirements and that records are available as corporate assets ensuring that both structured and unstructured data (eg ) is discoverable and reusable ensuring that records are destroyed or transferred to TAHO when no longer required for business purposes ensuring the agency complies with the Archives Act 1983 helping to respond to information access requests, for example, under Right to Information Act 2009 (RtI), requests associated with Personal information (Personal Information Protection Act 2004), or e- discovery requirements monitoring and communicating information risks Information and records managers need to understand their agencies' business information needs, have experience with people and project management and be adaptable to the changing needs of their organisation. A skilled information and records manager can help their agency understand and make better use of its information, comply with statutory obligations, and enhance innovation and corporate knowledge. Given the highly regulated environment in which they work, there are a number of characteristics an Information and records manager within a government agency should possess. They need to: understand the business requirements of their agency, including relevant legislation and standards be able to analyse their agency s business or businesses be very familiar with modern information and records management principles and practice, including creation, capture and storage of information and records identify the needs of their agency to develop information and records capability communicate effectively with staff at various levels within their agency project manage the provision of resources for information and records management understand and influence the digital capabilities of business systems used across their agency A skilled information and records manager is a critical element of every Government agency. Information is a valuable asset and, like assets such as vehicles, buildings or money, requires a skilled person or team to manage it. Determining training needs some helpful tools (skills analysis, skills audit and gap analysis) Often RM associated projects will incorporate a skills assessment element, in order to ensure the project has adequately skilled resources available. A similar approach can be used when undertaking a skills assessment of your current RM program, or determining the requirements of a new program. Steps may include some or all of the following: Skills analysis Skills audit Analysis of skill gaps Evaluation or re-evaluation of positions Page 3 of 30

4 Information Management Advice 54 Records Management toolkit for Local Government Recruitment of skilled staff Hire of trained consultants Training needs analysis of existing staff Implementation of training program for existing staff and/or Re-examination of skill needs and existing skills. A skills analysis should be conducted periodically in order to ensure the agency has the necessary knowledge and skills for its business to run smoothly, supported by an effective records management program. A skills analysis is a process to identify what skills the organisation actually requires to meet its business objectives. Suggested triggers for commencing a skills analysis may include: When the agency s strategic plan is revised, incorporating new objectives requiring different skills and knowledge to achieve, When the agency is subject to internal restructuring, involving the transfer of skilled personnel into different administrative areas, At the introduction of new or enhanced technologies and systems, bringing with them different requirements of records professionals, Upon the introduction of new requirements from legislative directives or other sources that impact on recordkeeping The usual outcome of a skills analysis is a register of the skills required to meet corporate goals. By documenting tasks and the required skills, and allocating the skills to specific positions, performance benchmarks (competency profiles) can be ascertained for the officers assigned to the role. A skills audit involves identifying the skills and knowledge (both used and latent) held by existing staff within the agency. The outcomes of a skills audit can then be used to identify any existing gaps between the skills and knowledge requirements of the agency (as identified by the skills analysis), and the actual skills that exist. Methods for assessing staff skill and knowledge may include: Researching existing training records and outcomes Observing staff performance in their roles, and output quality Conducting interviews (may include performance reviews) Running group activities that highlight skills such as teamwork, problem solving, communication, etc Using self-assessment surveys or SWOT analysis to find out what staff perceive as their strengths, weaknesses and opportunities for self-development, Using surveys to discover what supervisors or peers perceive about the strengths/weaknesses of the individual Hiring an external assessor to perform an assessment against developed competency standards By comparing the outcomes of a skills analysis and a skills audit, highlighting any gaps assists in the development of strategies for upskilling, cross training, and sourcing of additional skillsets (including determining the availability of consultants, and developing a register of resources for specialised work), and subsequently mitigating associated risk. Recruitment, training & professional development The agency should be able to access records management skills internally through appropriate recruitment, training and development opportunities. For smaller agencies, additional specialist skills may also be sourced Page 4 of 30

5 Information Management Advice 54 Records Management toolkit for Local Government externally on demand from qualified consultants, networking with other agencies (eg. shared service models) or liaison with TAHO or professional industry associations eg. RIMPA, ASA, etc. Membership, whether corporate or individual, of industry associations should be encouraged and supported, providing access to additional professional development opportunities. The professional nature of records management demands a formal and structured theoretical understanding combined with practical knowledge and experience. Ongoing updated refresher training should be encouraged for staff with limited recordkeeping responsibilities, and required for any staff holding a specialist records management role. Specialist records management staff must have formal records management training to ensure high quality RM leadership in departments anything less would undermine the agency s capacity to carry out an effective Records Management program. Annual professional development requirements should be incorporated into learning and development plans. Specialist staff should also be actively encouraged to participate in industry forums, TAHO forums, and reference groups in order to stay informed of new and emerging trends, practice and technology. In addition to formally recognised qualifications available from tertiary education institutions, TAHO provides a training program for records management staff in conjunction with the Training Consortium. If the skill/ knowledge gap is then a relevant TAHO course/s would be Basic concepts and practices of records management Records Management Introduction (TAHO) Classifying records Records Management Introduction (TAHO) Storing records appropriately Records Management Introduction (TAHO) How records disposal works Disposal Procedures (TAHO) Providing access to records under legislative Records Management Introduction (TAHO) requirements Classifying and titling records using a functional thesaurus Records Management Introduction (TAHO) Using a retention and disposal schedule Disposal Procedures (TAHO) Boxing and listing records for transfer Disposal Procedures (TAHO) Developing a business classification scheme and Records Management Introduction (TAHO) thesaurus for records titling/control Identifying vital records Records Management Introduction (TAHO) Conducting a risk assessment for records Disposal Procedures (TAHO) Developing a retention & disposal schedule for unique Developing an Agency Disposal Schedule (TAHO) business functions Strategies for managing electronic records Digital Recordkeeping on a Shoestring budget (TAHO) Developing records management policy and procedures Records Management Introduction (TAHO) The scheduled courses are supported by the various Guidelines and Advices developed by the Government Information Strategy Unit team, available from the GISU website. Roles and Responsibilities In the Appendices following this document are some common tasks performed within Records management programs, grouped into basic positions with associated tasks/responsibilities. Other related roles may include Information Management Coordinator, Records & Information Management Strategist, EDRMS Project Page 5 of 30

6 Information Management Advice 54 Records Management toolkit for Local Government Manager, Chief Information Officer, Records Management Trainer, Information Governance Officer, depending on the size of the agency and the maturity of its Records Management program and associated frameworks. Note that accurate classification/banding information has not been provided. This is intentional, as pay grades/position classification may change over time. Agencies are advised to consult with their HR practitioners to research appropriate and current industry standards when undertaking recruitment exercises. Recommended Reading National Archives of Australia, Qualifications, Skills & Knowledge 1 Records and Information Management Professionals Australasia (RIMPA) 2 Australian Society of Archivists 3 Appendices Sample roles & responsibilities (Appendix 1) Sample Self-assessment Questions (Appendix 2) Sample PD Records Officer (Appendix 3) Sample PD Records Manager (Appendix 4) Sample duty roster Mail clerk (Appendix Page 6 of 30

7 Information Management Advice 54 Records Management toolkit for Local Government Further Advice For more detailed advice, please contact: Government Information Strategy Unit Tasmanian Archive and Heritage Office 91 Murray Street HOBART TASMANIA 7000 Telephone: Acknowledgements National Archives of Australia, Digital Information and records management capabilities Skills and knowledge for Australian Government employees. 4 Australian Standard AS ISO & Guidelines NSW State Records Standard on managing a records management program 6 NSW State Records Guideline 17 Building Better Records Management Skills State Records of South Australia Adequate Records Management Resourcing Guideline and Toolkit RIMPA Statement of Knowledge Tasks Competencies Salaries of Recordkeeping professionals October Information Security Classification This document has been security classified using the Tasmanian Government Information Security classification standard as PUBLIC and will be managed according to the requirements of the Tasmanian Government Information Security Policy. Document Development History Build Status Version Date Author Reason Sections 2.0 May 2015 Christine Woods Template All 1.0 March 2014 Sam Foster-Davies Initial Release All Statement of Knowledge Tasks Competencies Salaries of Recordkeeping professionals October 2010 Page 7 of 30

8 Information Management Advice 54 Records Management toolkit for Local Government Amendments in this Release Section Title Section Number Amendment Summary All All Document imported into new template Issued: March 2014 Ross Latham State Archivist Page 8 of 30

9 Appendix 1 - Sample Roles & Responsibilities : Records officer Responsible for assisting the Records Manager with the administration of the agency s records management program. Includes the management and maintenance of files, records and correspondence. Classification Description Level A/Trainee Basic knowledge of administrative practices and procedures Ability to perform general administrative and filing procedures Ability to assist with the management and maintenance of records and correspondence Maintain discretion and confidentiality Perform general searches of records Ability to undertake efficient retrieval of records Ability to plan, prioritise and organise work to meet deadlines Level B Knowledge of administrative and records management practices and procedures Ability to perform records management practices including creation, capture, classification and retrieval of records according to an agency thesaurus Ability to classify incoming and outgoing correspondence Ability to undertake basic auditing maintenance requirements of EDRMS Experience in undertaking efficient search and retrieval of records Ability to work successfully under limited supervision Level C Experience in the creation, capture, classification and appraisal of records according to agency thesaurus Sound knowledge of records management practices Ability to sentence records against general and functional disposal schedules Ability to archive records in accordance with TAHO transfer requirements Provide advice and assistance on records management and disposal to the agency and customers Page 9 of 30

10 Information Management Advice 54 Records Management toolkit for Local Government Level D Experience in the development and application of procedures, programs and tools which support the organisation s records management strategy Exercise administrative responsibility for recordkeeping activities Undertake minor projects which impact agency operations but have limited management significance Exercise initiative and judgement where procedures are not clearly defined Identify specific or desired performance outcomes Experience in interpreting legislation or standards relevant to records or information management Experience in successfully implementing and managing a records management program Page 10 of 30

11 Information Management Advice 54 Records Management toolkit for Local Government Sample Roles & Responsibilities: Records Manager Responsible for developing, implementing, maintaining and monitoring an agency s records management program, in line with organisational policy and legislative requirements. Classification Level D Level E Level F Description Experience in the development, implementation and maintenance of a records management program specific to the agency needs (includes policy, standards, etc) Experience with implementing and maintaining an EDRMS Provide advice and consultative services to organisational staff and senior management regarding RM practices Develop and/or deliver internal records management training for organisational staff Provide advice or input into the development of induction programs to ensure the inclusion of records management Evaluate current recordkeeping programs and evaluate/identify systems for ongoing development and continuous improvement Develop records management tools including BCS, thesaurus, RDS etc with limited direction Provide advice on the development and use of complex recordkeeping tools (eg thesaurus) Approve tool documentation to ensure recordkeeping requirements are bring met Control and coordinate agency s recordkeeping operations Identify recordkeeping issues/problems and plan for resolution Contribute to the development of recordkeeping policy and business processes Provide RM consultancy services to Executive, EDRMS users, agency stakeholders and customers Develop and deliver a comprehensive range of training programs to staff agency-wide including Executive Interpret and review agency operations to determine effectiveness Provide advice on the application of access policy Develop, implement and evaluate a strategic information and records management program in line with agency operational plan Manage the strategic outputs including associated human and financial resources to deliver corporate goals Undertake analysis, lead innovation and find solutions to complex recordkeeping, EDRMS and cultural issues under limited direction Assist with the development and implementation of records management and systems training programs Page 11 of 30

12 Information Management Advice 54 Records Management toolkit for Local Government Level G Initiate, formulate and implement strategic records management policies and procedures Provide strategic and expert advice on EDRMS and records and information management options Apply analytical, quantitative and research skills to develop innovate and creative records and information management solutions and strategies High level of understanding of a range of legislation and policies Initiate and formulate agency records management programs Implement, coordinate and deliver agency records management programs Page 12 of 30

13 Information Management Advice 54 Records Management toolkit for Local Government Sample Roles & Responsibilities: Archivist Responsible for contributing to the proper physical and intellectual management of the agency s archival collection, including the disposal, arrangement, description, storage and preservation of State Records to mandated standards. Classification Description Level C Sentence and dispose of official records in accordance with current and approved disposal schedules Assist with the professional arrangement and description of inactive official records Transfer inactive records of permanent value to TAHO and temporary value records to an approved storage provider (ASSP) Provide advice and support to the agency on a range of archival matters Assist with projects that require the development and achievement of agreed objectives related to archiving Contribute to the development of policies and procedures in relation to archives management Level D Ensure that inactive official records are professionally sentenced, described, arranged, stored and preserved in accordance with TAHO standards Provide high level advice and support to the agency on a range of complex archives management matters Plan for, and deliver projects that require the development and achievement of agreed objectives related to archiving Develop policies and procedures in relation to archives management Page 13 of 30

14 Information Management Advice 54 Records Management toolkit for Local Government Sample Roles & Responsibilities: EDRMS Administrator Classification Description Level D Provide business and application systems support to the agency Maintain and administer business information system/s Maintain user manuals, technical documentation, policies and procedures in line with business systems used Contribute to the development of new business processes Deliver systems training/support to end users Level E Provide advice and business and application systems support of some complexity Develop and/or deliver training programs for agency users of business systems Develop appropriate user manuals, technical documentation, policies and procedures in line with business systems Develop, coordinate and implement specialist projects Business analyst skills business process engineering, EDRMS analysis, solution architecture Software/database integration with other business systems Develop networks with information system providers Contribute to the development of new business processes and policies Provide advice on complex issues Level F Provide high level advice and support for a range of business information systems and policy matters Manage and monitor contracts for third party vendors Develop, implement and evaluate specialist projects Control & coordinate the appropriateness of the agency s business information systems Provide leadership and strategic direction in the management and administration of business information systems Page 14 of 30

15 Appendix 2 - Sample Self-Assessment Questions Competency Knowledge 1. I have a good knowledge and understanding of the agency's policies, strategies and procedures for recordkeeping 2. I have a good knowledge of the agency, its culture and structure, business and the activities that it performs 3. I have a good knowledge of relevant legislation that affects our business operations. 4. I have a good knowledge of the agency's records and archives systems, both paper and electronic 5. I have a good knowledge of recordkeeping concepts, principles and processes. 6. I have a good knowledge of how to retrieve records in my agency. 7. I have a good knowledge of my agency's security and access procedures for records. 8. I have a good knowledge of how to use a records thesaurus in my agency. 9. I have a good knowledge of how to develop and use a retention and disposal schedule for my agency. 10. I have a good knowledge of organisational procedures in transferring records to offsite storage Strongly Agree Agree Disagree Strongly Disagree Evidence of competence Need or desire for further skills development / training Page 15 of 30

16 Competency and to TAHO. 11. I have a good knowledge of what records are vital to my agency and would need to be saved if we had a disaster. Skills 12. I can provide efficient responses to customer requests for records and use sensitivity and discretion when dealing with customers. 13. I am skilled in training and teaching others in our records management procedures. 14. I am able to read and interpret records in order to decide on file titles and apply access and security rules and conditions 15. I am skilled in my use of the [records management software/file register]. 16. I can operate appropriate equipment for moving records. Additional questions for Team Leader/Manager Knowledge 17. I have a sound knowledge of how to determine requirements for making and keeping records, and ensure these are built into business systems and organisational procedures 18. I am able to analyse records management needs and activities to determine improvements required. Strongly Agree Agree Disagree Strongly Disagree Evidence of competence Need or desire for further skills development / training Page 16 of 30

17 Competency 19. I am able to write precise plans and reports on records management activities. Strongly Agree Agree Disagree Strongly Disagree Evidence of competence Need or desire for further skills development / training Other training needs 20. Is there any other instruction or training you need to perform your records management duties competently? Recognition of prior learning 21. What training in records management or related activities have you attended within the last 3 years? 22. What training or skills in records management or related activities have you acquired outside your current job that might be relevant to the whole organisation? Comments Comments Page 17 of 30

18 Appendix 3 - Sample position description - Records Officer POSITION TITLE: Records Officer POSITION NO: CLASSIFICATION: GRADE: BUSINESS UNIT: 1. PURPOSE OF POSITION/POSITION OBJECTIVE The purpose of this position is contribute to the efficient operation of the organisation's records management program in order to support business and meet regulatory and best practice requirements for recordkeeping and records management. 2. DEPARTMENTAL RELATIONSHIPS Reports to: Supervises: [Records Manager] Nil direct reports. Internal liaison: External liaison: 3. ORGANISATIONAL CONTEXT The Records Officer position is located in the [Corporate Services Division]. The [Corporate Services Division includes three branches: the Finance, Human Resources and Information and Communication Branches]. The [Information and Communications Branch] manages the organisation-wide information and communication functions of the organisation. The key functions of the Branch are: management, development and support of IT infrastructure and assets technical management and development of the organisation's web site and Intranet coordination and management of publishing data administration Page 18 of 30

19 library and information services, and records management. The records management unit administers the organisation's records management program, including the provision of customer services to staff and external clients. It manages the creation, capture, storage, access and disposal of corporate records, and runs training and educational programs to raise awareness of staff responsibilities for recordkeeping. There are [four] Records Officer positions reporting to the [Records Manager]. They perform a number of the day-to-day tasks associated with the provision of a records management service and with meeting legislative requirements and policy, standards and codes of best practice to which the organisation is subject. NATURE AND SCOPE OF POSITION A. WORK PERFORMED The Records Officer position has four major components: Classifying, registering and tracking records and information about records within the records system [This work is performed so that all relevant records of official business are captured and managed accountably using corporate records systems. It involves the selection of appropriate classification information, the registration of records by updating the organisation's corporate records system with the necessary data (including metadata), and the monitoring of records movement and use using methods such as file audits]. Identifying records that are subject to the disposal program and safely transferring or securely disposing of the records [This work is performed as part of the organisation's ongoing records disposal program. It involves consultation with records users, organisation of records according to status, and sentencing of records using the organisation's retention and disposal authorities. It also requires the records officer to maintain up to date documentation of disposal activity, and involves some physical lifting and moving of records]. Receiving requests for records and delivering the record or information about records [This work is performed so that staff of the organisation access to up to date organisational information from records at all times. The records officer searches and retrieves data from the records control system, ensures organisational security and confidentiality restrictions on records are abided by, and retrieves and delivers records to staff, in either physical or electronic formats]. Page 19 of 30

20 Maintaining the records of the records system in good order on a day to day basis, including the work to gather together records that are subject to record system updates, to perform those updates and to retrieve reports from the system in response to a request. [This work is performed so that the organisational records system is up to date and has integrity at all times. It involves ongoing maintenance of the system, testing for system errors and producing periodic reports from the system]. B. CHALLENGES AND PROBLEM SOLVING There are a range of challenges and situations in this position requiring problem-solving skills. These include: choosing relevant terms from the organisation's functional thesaurus to classify records covering a range of issues assessing records and choosing appropriate disposal actions from disposal schedules in order to sentence them using the full functionality of the records system fixing problems with the records system in liaison with software suppliers keeping information in the records system current and accurate assisting in the education of users about their responsibilities for records management liaising with users regarding the disposal of records and the identification of vital records when the users are not familiar with records practices or methods; and analysing that information effectively managing projects for the physical transfer or disposal of records providing high quality and timely services to users within tight timeframes and with limited resources recommending actions to the [Records Manager] and [Senior Management/CIO/Executive] as to how the organisation might better comply with legislative and other responsibilities. C. DECISION - MAKING The position holder routinely makes decisions on matters such as: prioritising his / her own workload which incoming material should be treated as records the application of the organisation's thesaurus when titling files, and the determination of the disposal status of records the application of security or access restrictions to records. Page 20 of 30

21 The position holder makes recommendations to the supervisor on: changes needed to the records system data collected about records disposal and the identification of vital records projects to relocate or move records appropriate terms for inclusion in a revised thesaurus appropriate appraisal decisions as part of the development of a draft disposal authority appropriate changes to storage areas and facilities for records suggestions for the records management program as part of strategic and operational planning. D. COMMUNICATION The position holder is involved in communication with people from a wide range of organisations, levels and backgrounds, including: [the Records Manager] (the position's supervisor) other Records Officers other staff within the Information and Communications Branch organisational staff with regard to the use of records management system/s and program services and in order to implement disposal and identify vital records staff at Tasmanian Archives and Heritage Office (TAHO) when transferring records or requesting retrievals, suppliers of equipment, stationery and other materials for records management activities. E. KEY ACCOUNTABILITIES AND EXTENT OF AUTHORITY The accountabilities associated with this position are: provide a records management service to organisational staff and external clients ensure that physical and electronic records can be identified and retrieved quickly and easily when needed ensure that information in records systems is accurate and up to date ensure that records are disposed of lawfully and efficiently and in accordance with organisational deadlines ensure that records are transferred or relocated appropriately when required maintain appropriate levels of discretion and confidentiality regarding corporate information assist [the Records Manager and Executive] to implement requirements contained in legislation, policy, standards and codes of best practice Page 21 of 30

22 assist [the Records Manager] to monitor and report to the Executive on the operation of the records management program. F. KNOWLEDGE, SKILLS AND EXPERIENCE Knowledge The position requires knowledge of: Skills relevant legislation, policies, strategies and procedures business functions and activities and records classification methods manual and automated records and archives systems recordkeeping concepts, principles and processes records appraisal, disposal and approval processes and retention and disposal authorities. methods for identifying vital records issues in relation to the transfer of custody, ownership and/or responsibility for records security and access issues for records The position requires the following skills: sound interpersonal skills customer service skills including an ability to respond efficiently to customer requests and use sensitivity and discretion when dealing with customers. time management, and the ability to prioritise and meet deadlines sound judgement and discretion with confidential information accuracy and attention to detail skill to read and interpret records in order to classify them, apply retention and disposal authorities and access and security rules and conditions skill in the use of relevant technology good written communication skills with the ability to write precise reports on records management activities skills in operating appropriate equipment for moving, storing and management of records. Qualifications and Experience Essential The position requires experience in the management of records, including the use of records management software Page 22 of 30

23 Desirable Relevant TAFE or university qualifications Experience in the management of records in the electronic environment Experience in the implementation of classification schemes Experience in the use and application of disposal schedules, and disposal authorities Experience in the use and application of thesauri Experience in training/education of staff in regards to their recordkeeping responsibilities. Page 23 of 30

24 Appendix 4 - Sample position description Records Manager POSITION TITLE: Records Manager POSITION NO: CLASSIFICATION: GRADE: BUSINESS UNIT: 1. PURPOSE OF POSITION/POSITION OBJECTIVE The purpose of this position is ensure the efficient operation of the organisation's records management program, in order to support business and meet regulatory and best practice requirements for recordkeeping and records management. 2. DEPARTMENTAL RELATIONSHIPS Reports to: Supervises: [Position] [Positions]. Internal liaison: External liaison: 3. ORGANISATIONAL CONTEXT The Records Manager is located in the [Corporate Services Division]. The [Corporate Services Division includes three branches: the Finance, Human Resources and Information and Communication Branches]. The [Information and Communications Branch] manages the organisation-wide information and communication functions of the organisation. The key functions of the Branch are: management, development and support of IT infrastructure and assets technical management and development of the organisation's web site and Intranet coordination and management of publishing data administration library and information services, and records management. Page 24 of 30

25 The records management unit administers the organisation's records management program, including the provision of customer services to staff and external clients. It manages the creation, capture, storage, access and disposal of corporate records, and runs training and educational programs to raise awareness of staff responsibilities for recordkeeping. The Records Manager is responsible for [four] Records Officers. They perform a number of the day-to-day tasks associated with the provision of a records management service and with meeting legislative requirements and policy, standards and codes of best practice to which the organisation is subject. NATURE AND SCOPE OF POSITION A. WORK PERFORMED The Records Manager position has four major components: Define recordkeeping framework [This work involves the establishment and maintenance of the Agency's records management program. This includes analysis and monitoring of the regulatory and business environment in which recordkeeping occurs; analysis of risk associated with business areas; specification of the Agency's recordkeeping requirements and the assignment of responsibilities for aspects of the program]. Plan management of records over time [This work requires the Records Manager to determine strategies for the storage of records and their protection from harm or deterioration into the future. It also involves devising strategies for the long term management of electronic and other equipment or technology-dependent records over time. The Records Manager is required to prepare planning documentation for records in accordance with business and TAHO requirements]. Develop recordkeeping policy [This work involves the revision of existing Agency policy on records management and recordkeeping and/or the development of new policy. Policy is developed based on an understanding of recordkeeping behaviours, risks and corporate culture. The Records Manager is required to consult widely with stakeholders as part of the development of policy]. Manage and monitor a records system [This work involves establishing performance targets for the operation of Agency recordkeeping systems, and the monitoring of recordkeeping systems performance over Page 25 of 30

26 time. This includes the identification of problems and timely response to identified problems]. B. CHALLENGES AND PROBLEM SOLVING There are a range of challenges and situations in this position requiring problem-solving skills. These include: formulate a recordkeeping framework taking into account users' needs, technological requirements, budget and resource constraints for nominated time frame analysing and interpreting legal and regulatory requirements in order to define recordkeeping requirements analysing risk associated with business activities in order to define recordkeeping requirements identifying critical indicators of recordkeeping system performance rectifying recordkeeping system problems with appropriate system changes C. DECISION - MAKING The position holder routinely makes decisions on matters such as: prioritising his / her own workload acceptable performance levels in the recordkeeping system and appropriate solutions for problems identified responsibilities for record creation and capture the priorities of the records management program for planning purposes, and storage and custody arrangements for current, semi-current and archival records The position holder makes recommendations to the supervisor on: long term records management program objectives records management program budgetary requirements and Agency records and information management policy D. COMMUNICATION The position holder is involved in communication with people from a wide range of organisations, levels and backgrounds, including: the [Chief Information Officer] (the position's supervisor) Records Officers other staff within the [Information and Communications Branch] organisational staff vendors Page 26 of 30

27 staff at Tasmanian Archives and Heritage Office (TAHO) suppliers of equipment, stationery and other materials for records management activities. E. KEY ACCOUNTABILITIES AND EXTENT OF AUTHORITY The accountabilities associated with this position are: ensure a quality records management service is provided to organisational staff and external clients ensure that Agency business is adequately documented through recordkeeping ensure the Agency's legislative and compliance requirements under the Archives Act 1983 are met plan and prioritise work in the records management program ensure records management policy and procedures are accurate and up to date at all times manage records storage arrangements in an accountable and cost effective manner ensure that records generated in the Agency's electronic business systems including are captured and managed appropriately. F. KNOWLEDGE, SKILLS AND EXPERIENCE Knowledge The position requires knowledge of: performance management principles and processes workflow and business re-engineering principles and practices environmental influences on the agency budget planning and preparation methods records management outsourcing and contract negotiation relevant legislation, policies, strategies and procedures the business functions, activities and processes of the agency recordkeeping concepts, principles and processes recordkeeping risk management techniques records appraisal, disposal and approval processes and retention and disposal authorities. issues in relation to the transfer of custody, ownership and/or responsibility for records security and access issues for records Page 27 of 30

28 Skills The position requires the following skills: analysing and interpreting legal and regulatory requirements analysing business functions and processes performance measurement negotiation risk assessment problem solving Qualifications and Experience Essential Experience in the management of small team Experience in budgeting Relevant TAFE or university qualifications Experience in the management of records including in an electronic environment Experience in the implementation of classification schemes, disposal authorities and thesauri Experience in development and delivery of training packages / education of staff in usage of records systems and recordkeeping responsibilities Experience in project management Desirable Experience in contract management Certificate IV in training Page 28 of 30

29 Sample Weekly Duty Roster Part Time Mail Clerk Time Monday Tuesday Wednesday Thursday Friday 8.15 Collect Mail/run mail through auto-opener Collect Mail/run mail through auto-opener Collect Mail/run mail through auto-opener Collect Mail/run mail through auto-opener Collect Mail/run mail through auto-opener 8.30 Open Mail & sort into mail/cheques/invoices (may also include direct debits/rates return to sender). Open Mail & sort into mail/cheques/invoices (may also include direct debits/rates return to sender). Open Mail & sort into mail/cheques/invoices (may also include direct debits/rates return to sender). Open Mail & sort into mail/cheques/invoices (may also include direct debits/rates return to sender). Open Mail & sort into mail/cheques/invoices (may also include direct debits/rates return to sender) Date stamp invoices & cheques. Collate mail for sentencing. Sort unopened mail to department baskets for delivery. Date stamp invoices & cheques. Collate mail for sentencing. Sort unopened mail to department baskets for delivery. Date stamp invoices & cheques. Collate mail for sentencing. Sort unopened mail to department baskets for delivery. Date stamp invoices & cheques. Collate mail for sentencing. Sort unopened mail to department baskets for delivery. Date stamp invoices & cheques. Collate mail for sentencing. Sort unopened mail to department baskets for delivery Retrieve File requests from file room Retrieve File requests from file room Retrieve File requests from file room Retrieve File requests from file room Retrieve File requests from file room 9.15 Deliver cheques, invoices & hard copy file requests Deliver cheques, invoices & hard copy file requests Deliver cheques, invoices & hard copy file requests Deliver cheques, invoices & hard copy file requests Deliver cheques, invoices & hard copy file requests Collect items from courier basket for distribution to department baskets (in Records) Collect items from courier basket for distribution to department baskets (in Records) Collect items from courier basket for distribution to department baskets (in Records) Collect items from courier basket for distribution to department baskets (in Records) Collect items from courier basket for distribution to department baskets (in Records) Collect DX mail (outgoing) from Finance Collect DX mail (outgoing) from Finance Collect DX mail (outgoing) from Finance Collect DX mail (outgoing) from Finance Collect DX mail (outgoing) from Finance Page 29 of 30

30 9.30 Second Mail Collection & DX Mail delivery/collection Second Mail Collection & DX Mail delivery/collection Second Mail Collection & DX Mail delivery/collection Second Mail Collection & DX Mail delivery/collection Second Mail Collection & DX Mail delivery/collection 9.45 Open collected mail (Aust Post & DX) & sort/stamp invoices and cheques Open collected mail (Aust Post & DX) & sort/stamp invoices and cheques Open collected mail (Aust Post & DX) & sort/stamp invoices and cheques Open collected mail (Aust Post & DX) & sort/stamp invoices and cheques Open collected mail (Aust Post & DX) & sort/stamp invoices and cheques Scanning of second collection mail/dx items Scanning of second collection mail/dx items Scanning of second collection mail/dx items Scanning of second collection mail/dx items Scanning of second collection mail/dx items Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Delivery & collection to all departments Delivery & collection to all departments Delivery & collection to all departments Delivery & collection to all departments Delivery & collection to all departments Unload trolley & sort collected items to department baskets (in Records) Book hard copy files back in to records (in EDRMS) and return to shelves in file room Unload trolley & sort collected items to department baskets (in Records) Book hard copy files back in to records (in EDRMS) and return to shelves in file room Unload trolley & sort collected items to department baskets (in Records) Book hard copy files back in to records (in EDRMS) and return to shelves in file room Unload trolley & sort collected items to department baskets (in Records) Book hard copy files back in to records (in EDRMS) and return to shelves in file room Unload trolley & sort collected items to department baskets (in Records) Book hard copy files back in to records (in EDRMS) and return to shelves in file room Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Registration of documents to file post actioned (Health/Rates/etc) Home Home Home Home Home Page 30 of 30

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